Quarterly
Sl. No.
|
Particulars of
Compliance
|
Time frame within
which it shall be
complied
|
Date By
which to be filed
|
Clauses
of
SEBI
regulations
|
1
|
Statement
Grievance Redressal
Mechanism
|
Within twenty one
days from the end of each quarter
& shall also be placed before Board on quarterly
basis
|
21st – July,
October,
January and April
|
Chapter III – Reg
13(3)
|
2
|
Compliance Report
on Corporate
Governance
|
Within fifteen
days
from quarter
end
and shall be signed by the
Compliance Officer or CEO of the Company
|
15th – July,
October,
January and April
|
Chapter IV
–
Reg 27 (2) (a)
|
3
|
Statement showing
Holding of Securities and
Shareholding Pattern*
|
· 1 day
prior
to Listing of securities
· Quarterly
basis within 21 days from the end of
each quarter
· Within 10 days
of any capital
restructuring
resulting in a change
exceeding 2% of the
total paid-up capital
|
21st – July,
October,
January and April
|
Chapter
IV
–
Reg 31 (1) (a) to
(c)
|
*Provided that in case of Listed entities which have listed their specified securities on SME
exchange, the above statements shall be submitted on half yearly basis within 21 days from the
end of half year.
For any LODR query or assignement contact us
4
|
Statement indicating
deviations if any in the
use of proceeds
from the
objects
stated in the
offer document or explanatory
statement
for the general meeting
|
Within twenty one
days from
the end of each quarter
|
21st
– July,
October,
January and April
|
Chapter
IV
–
Reg – 32 (1) (a)
|
5
|
Statement indicating
category wise variations
(Capital
Expenditure,
Sales
and Marketing, Working Capital etc)
between projected utilization of funds
made by it in its offer
document or explanatory
statement
for the general meeting and actual utilization of
funds
|
Within twenty one
days from
the end of each quarter
|
21st
– July,
October,
January and April
|
Chapter
IV
–
Reg – 32 (1) (b)
|
7
|
Quarterly and Year to
Date
standalone financial results
|
Within
45 days
of
end of each quarter
other than last
quarter
|
14th – August,
November and February
|
Chapter
IV
–
Reg – 33 (3) (a)
|
For any LODR query or assignement contact us
2. Half yearly
(Specific Compliance on half year basis – excludes regular quarterly
compliances):
Sl.
No.
|
Particulars of Compliance
|
Time frame within
which it shall
be
complied
|
Date
by which
to be filed
|
Clauses of SEBI
regulations
|
1
|
Compliance Certificate – signed by Compliance
officer & authorized
representative of Share
Transfer Agent
(STA)
|
Within
one month
of end
of each half
financial year
|
31st
October
and 30th April
|
Chapter
III –
Reg 7 (3)
|
2
|
Statement of assets and liabilities by
way of a note to
the standalone
or
consolidated
financial results for the half year
|
Within 45 days from the end of
quarter
|
Along with financials
filed with Exchanges
|
Chapter
IV
–
Reg – 33 (3) (f)
|
3
|
STA shall
produce a
Certificate
from
PCS
certifying
all
certificates
have been issued
within 30 days
of
the
date
of
lodgment of
Transfer
/ Sub-
division/consolidation/renewal/exchange/end
orsement of calls
/ allotment of monies
|
The Company
shall
file the certificate received
from STA forthwith to Stock
Exchanges or within one
month
whichever is earlier
|
31st
October
and 30th April
|
Chapter
IV
–
Reg 40 (9)
&
(10)
|
For any LODR query or assignement contact us
3.Annualy
Sl.
No.
|
Particulars of Compliance
|
Time frame within
which it shall
be
complied
|
Date
by which
to be filed
|
Clauses of SEBI
regulations
|
1
|
Audited standalone financial results for the
financial year
|
Within 60 days from
the end
of financial
year alongwith audit report &
eithr Form A or B as may be applicable
|
30th May
|
Chapter
IV
–
Reg – 33 (3) (d)
|
2
|
Annual report submission
|
Within
21 days
of it
being approved and
adopted in the
AGM as per the provisions
of the Companies Act
2013
|
--
|
Chapter
IV
–
Reg – 34 (1)
|
3
|
Annual Information Memorandum
|
Manner
to be
specified by SEBI
|
--
|
Chapter
IV
–
Reg – 35
|
4
|
Details regarding voting results of GM
|
Within 48 hours from
conclusion
of GM
|
--
|
Chapter
IV
–
Reg – 44 (3)
|
5
|
Listing Fees
|
Within one month
|
30th April
|
Chapter
III –
Reg - 14
|
For any LODR query or assignement contact us
A) Prior Intimations
Event based Compliances
Sl. No.
|
Particulars of
Compliance
|
Time frame
within
which it shall be
complied
|
Clauses
of
SEBI
regulations
|
1
|
Financial Results
|
five days
in advance
excluding date of
Meeting
and intimation
day (total 7 days)
|
Chapter III
–
Reg
29 (1) (a)
|
2
|
Proposal for Buyback of
shares
|
2 days in
advance
excluding date
of meeting and intimation
(Total 4 days)
|
Chapter III
–
Reg
29 (1) (b)
|
3
|
Proposal
for Voluntary
delisting
|
2 days in
advance
excluding date
of meeting and intimation
(Total 4 days)
|
Chapter III
–
Reg
29 (1) (c)
|
4
|
FPO, Rights Issue, ADR /
GDR, FCCB, QIP, Debt
Issue, Preferential Issue or any
other method of
fund raising
|
2 days in
advance
excluding date
of meeting and intimation (Total 4 days)
|
Chapter III
–
Reg
29 (1) (d)
|
5
|
Declaration /
recommendation of dividend, issue of Convertible
securities, debentures
carrying a right to subscribe to
equity shares or
the passing over of dividend
|
2 days in
advance
excluding date of
meeting and intimation (Total 4 days)
|
Chapter III
–
Reg
29 (1) (e)
|
6
|
Proposal
for declaration of Bonus securities
where proposal is communicated to
the Board of
the Company as part of the agenda papers. In case it is not
on the agenda, prior intimation
is not
required
|
2 days
in advance
excluding date of
meeting and intimation (Total 4 days)
|
Chapter III
–
Reg
29 (1) (f)
|
7
|
Any alteration
in
the
form or nature of any of
|
11 days advance
intimation
|
Chapter IV – Reg
29 (3) (a)
|
its securities
or
in
the
rights or privileges of the
holders thereof
|
|||
8
|
Any
alteration
in
the date on which, the
interest on debentures
or bonds or
the redemption amount
of redeemable shares or
debentures or
bonds, shall be payable
|
11
days advance intimation
|
Chapter IV
–
Reg
29 (3) (b)
|
9
|
Shall intimate the record
date
for the
following purposes:
· Declaration of
Dividend*
· Issue of Rights or
Bonus Shares
· Issue
of Shares
for conversion of debentures or any
other convertible
security
· Shares arising out
of rights attached
to debentures or any other convertible security
· Corporate
Actions like
Mergers, Demergers, splits
& Bonus
Shares
· & other purposes
as may be
specified by
the stock exchanges
|
7 working days
excluding the date of intimation and
record date specifying
the
purpose of
record date
(Total 9 days)
|
Chapter IV – Reg –
42 (1) &
(2)
|
*the listed entity shall recommend or declare all dividend and
/ or cash bonuses at least five working days
(excluding the date of intimation and the record date) before the record date fixed for the purpose. The listed entity shall ensure thirty days gap between two record dates. For securities
held in physical form, the listed
entity may, announce dates of closure of its transfer books in place of record date for complying with requirements as specified in regulations.
B) Disclosure
of
Events or Information (Mandatory)
Sl. No.
|
Particulars of Compliance
|
Time
frame
within which
it
shall be complied
|
Clauses of
SEBI
regulations
|
1
|
Appointment /
change in
Share
Transfer Agent
(Refer Point 9 below)
|
Within seven days
of entering
into
the Tripartite Agreement
|
Chapter
III –
Regulation 7 (5)
|
2
|
Acquisition(s) (including agreement
to acquire),
Scheme of Arrangement
(amalgamation/
merger/ demerger/restructuring), or sale or disposal of any unit(s), division(s)
or subsidiary of the listed entity or any
other restructuring.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
3
|
Issuance or forfeiture of securities,
split or
consolidation of shares, buyback of securities,
any
restriction on transferability of
securities or alteration in terms or structure of existing securities
including forfeiture, reissue
of forfeited securities,
alteration of
calls, redemption of
securities etc.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
4
|
Revision in Rating(s).
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
5
|
Outcome of Meetings of the board
of directors:
(Almost All items of Prior Intimation
List)
a) dividends
and/or cash bonuses recommended or declared or the decision
to pass
any dividend and the
date on which dividend shall be paid/dispatched;
b) any cancellation of dividend with
reasons thereof;
c) the decision on buyback of
securities;
|
Within 30 minutes
of the Closure of
the Meeting
held
to
consider the items in column no.2 (Particulars)
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
For any LODR query or assignement contact us
6
d) the decision with respect to fund
raising proposed
to
be undertaken
e) increase in capital
by
issue of bonus shares
through
credited/dispatched;
f) reissue
of forfeited shares
or securities, or the issue
of shares or
securities held in reserve for future issue or the creation in any form or manner of new shares or securities
or any other rights,
privileges or benefits to subscribe to;
g) short particulars of any other alterations of
capital, including calls;
h) financial results;
i) decision on voluntary delisting by the listed entity
from stock exchange(s).
|
|||
6
|
Agreements (viz.
shareholder
agreement(s), joint venture
agreement(s), family settlement agreement(s)
(to the extent that it
impacts management and control of the
listed entity), agreement(s)/treaty(ies)/contract(s)
with media companies) which are binding and not in normal course of
business, revision(s) or amendment(s) and termination(s)
thereof.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A
of Schedule III
|
7
|
Fraud/defaults by promoter or key
managerial
personnel or by listed entity or arrest of
key managerial personnel or promoter.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule
III
|
8
|
Change in directors, key managerial
personnel (Managing
Director, Chief Executive Officer, Chief Financial Officer ,
Company Secretary etc.), Auditor and Compliance Officer.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
For any LODR query or assignement contact us
7
9
|
Appointment
or discontinuation of
share transfer agent.
(Contrary
to Regulation 7 (5) of
Chapter III which mandates
intimation of
Stock Exchange
within Seven Days from
entering into
Agreement)
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
10
|
Corporate debt restructuring.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
11
|
One time settlement with a bank.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
12
|
Reference
to BIFR
and winding-up
petition filed
by any party
/
creditors.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
13
|
Issuance of
Notices, call letters,
resolutions and circulars sent to
shareholders, debenture holders or creditors
or any class of them or advertised in the media
by the
listed entity.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
14
|
Proceedings of Annual and
extraordinary
general
meetings of
the listed entity.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
15
|
Amendments
to memorandum and
articles
of
association of listed entity,
in brief.
|
24 hours from the
occurrence
of event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule III
|
16
|
Schedule
of Analyst or institutional
investor meet and presentations on
financial results
made by the listed entity
to
analysts or institutional investors;
|
24 hours from the occurrence of
event or information
|
Chapter IV – Reg –
30 (6)
read with Part A of Schedule
III
|
17
|
Information regarding loss of share
certificates &
issue
of duplicate
certificate
|
Within 2 days
of
getting
information
|
Chapter IV – Reg –
39 (3)
|
For any LODR query or assignement contact us
8
C) Disclosure of Events
or
Information (as
per
Company’s
Policy on
Materiality of events
as provided in Regulation 30 (4))
Sl. No.
|
Particulars of Compliance
|
Time
frame
within which
it
shall be complied
|
Clauses of
SEBI
regulations
|
1
|
Commencement or any
postponement in the date of commencement of
commercial production
or commercial operations of any unit/division.
|
As per
Policy of
Materiality
of
events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
2
|
Change in
the general character or
nature of business
brought about by arrangements
for strategic,
technical, manufacturing, or
marketing tie-up,
adoption of new
lines of business or closure of
operations of any unit/division
(entirety or piecemeal).
|
As per
Policy of Materiality
of events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
3
|
Capacity
addition or product launch.
|
As per
Policy of
Materiality
of
events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
4
|
Awarding,
bagging/
receiving,
amendment or
termination of
awarded/bagged
orders/contracts
not in the normal
course of business.
|
As per
Policy of
Materiality
of
events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
5
|
Agreements (viz. loan agreement(s)
(as a borrower) or any other agreement(s) which are
binding and not in
normal course
of business) and revision(s) or amendment(s)
or termination(s) thereof.
|
As per
Policy of
Materiality
of
events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
6
|
Disruption of operations of any one
or more
units or division of the listed entity due to natural calamity
(earthquake, flood, fire etc.), force majeure or events such as strikes, lockouts etc.
|
As per
Policy of
Materiality
of
events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
7
|
Effect(s) arising out of change in the
regulatory framework
applicable to the listed entity
|
As per
Policy of
Materiality
of
events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
8
|
Litigation(s) / dispute(s) / regulatory action(s)
with impact.
|
As per
Policy of Materiality
of events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
9
|
Fraud/defaults etc. by directors
(other than key managerial personnel) or
employees of
listed entity.
|
As per
Policy of
Materiality
of
events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
10
|
Options to purchase securities including any ESOP/ESPS Scheme.
|
As per
Policy of Materiality
of events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
11
|
Giving of guarantees
or
indemnity
or becoming a surety for any third
party.
|
As per
Policy of
Materiality
of
events
|
Chapter IV – Reg –
30 (4) read
with Part B of Schedule III
|
12
|
Granting, withdrawal,
surrender,
cancellation
or
suspension of key
licenses or regulatory approvals.
|
As per
Policy of
Materiality
of
events
|
Chapter IV – Reg –
30 (4)
read with Part B of Schedule III
|
D). Any other information/event viz. major development that is likely to affect
business, e.g. emergence of new
technologies, expiry
of patents, any change
of accounting policy that may
have a significant impact on the accounts, etc. and brief details thereof and any other information which is exclusively known to
the
listed entity which may be necessary to enable the holders of securities of
the
listed entity to appraise its position and to avoid the establishment of a
false
market in such securities.
New Policies to be adopted by Board as per SEBI (LODR) Regulations
2015
Ø Policy for preservation of documents – (Chapter III – Reg – 9)
Ø Policy for determination of materiality – (Chapter IV – Reg – 30 (4) (ii))
Ø Archival Policy – (Chapter IV – Reg – 30 (8))
For any LODR query or assignement contact us
Others:
Ø Minimum information to be placed before the Board of Directors is specified in Part A of
Schedule II to the Regulations.
Ø CEO & CFO shall provide the compliance certificate to the Board of Directors as specified in Part B of
Schedule II to the Regulations.
Ø Performance evaluation of Independent Directors shall be done by the ENTIRE Board of
Directors.
Ø The role of Audit Committee and information to be reviewed by the audit committee
shall be as specified in Part C of Schedule II to the Regulations.
Ø The role of Nomination and Remuneration Committee shall be as specified in Part D of the Schedule II
to
the Regulations.
Ø The role of Stakeholders Relationship Committee shall be as specified in Part D of the
Schedule II to the Regulations.
Ø Constitution of Risk Management Committee shall be mandatory only for top 100 Listed
Companies.
Ø All Related Party Transactions shall require prior approval of the Audit Committee.
Ø All
members of the Board and Senior Management personnel shall affirm compliance
with the code of
conduct
on annual basis.
Ø Basic information
to be
provided
in the WEBSITE of the Company
is
specified in
Regulation 46 of the SEBI (LODR) Regulations
2015.
For any LODR query or assignement contact us
Company Secretary GAURAV SHARMA+919990694230 Connect on Watts App with Gaurav
Email us [email protected]
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